INTEGRATING ASSESSMENT, PLANNING & BUDGETING. Presentation to URPC August 26, 2016 Lisa Castellino, PhD Office of Institutional Effectiveness

Transcription

1 INTEGRATING ASSESSMENT, PLANNING & BUDGETING Presentation to URPC August 26, 2016 Lisa Castellino, PhD Office of Institutional Effectiveness 1

2 Campus Context Why integrate these activities? ON TOP Strategic Plan Blue Print UNDERNEATH WASC Reaffirmation & Criteria for Review AT THE BOTTOM CSU Graduation

3 Workgroup Charge and Deliverables 3- points by Feb 2016 Linkage Links annual goal setting, assessment and review with the annual budget process. Integration Includes an integrated resource request and allocation process. Goodness of fit Fits within the framework of the strategic plan and strategic budget, for both longterm and short-term purposes, and works within the context of shared governance. 1. An outline of what a process would look like (steps, timeline, etc.) that links budget, assessment and allocation; 2. A list of what is needed from a software product(s) to implement the process, including the viability of Compliance Assist or the need to explore other options 3. A timeline for implementing the process, and 4. A communication plan 3

4 Process and Methods Summary Clarifying and connecting Clarify the task; construct a model that connects a coordinated shorter-term budget process to the longer term Strategic Budgeting priorities and allocation decisions. Landscape analysis Surveyed current status of assessment processes across the university and budget timeliness at URPC, university and state levels. Request status Reviewed resource request examples noting what information was included as well that would need to be included. Mapped initial process What would a process look like conceptually? Reflection and refinement Process needed to be the sameassessment drives the process- regardless of whether or not you need resources. Component processes Shaped the process; planning process for setting high level goals and outcomes; outcomes assessment cycle; resources planning processes. Timeline Overlaid assessment cycle on the 4 budget cycle. Integration How does each part of the model integrate? Tested portion of the model conceptually. Four-year map Foundational in what this looks like over the course of 4 years.

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6 Conceptual Design Section 1 1 6

7 ASSESSMENT, PLANNING AND BUDGET ASSESSMENT PLANNING BUDGET CHANGE Priorities from SP Personnel Assessment Priorities from DIV SP Equipment Assessment Space Priorities from MBU SP Information Technology 7 Assessment drives evidence of need; it also is paramount in demonstrating meeting the Plan s expectations. Planning should be linked throughout all levels of the organization, starting with the Blue Print- Priorities should be communicated in 2 year cycles. Resources requested are housed within 4 broad categories; each typed to such things as instruction, student services, research, etc. Assessing change or impact of the resources is key to 1) determining if things were successful and 2) informs and recommends changes to next planning cycle.

8 Integrated Assessment, Planning and Budgeting Model Concept Map Start here If you have a developed set of outcomes and objectives Assessment Current state and/or measuring changes Department Prioritize Based on what we learned, where do we focus our efforts/ what do we stop? Work the Plan Begin efforts / stop efforts Resource Requests What resources are needed and how will they be prioritized, used and measured? MBU Division Or start here If you need to develop a set of outcomes or objectives Plan the Work Outcomes and Objectives Connect budget to Plan here Resourcing What resources are needed and where can we reinvest/reallocate? 8

9 Integrated Assessment, Planning and Budgeting Process Model Fund? URPC Do funding requests adhere to budgeting principles? President Budget Tasks Cabinet/ SPCC Strategic Plan SPOC Goals Objectives Division Strategic Plan Outcomes Outcomes Strategic Plan MBU Objectives Goals Dept. Dept. Dept. Dept. Dept. Tasks 9 Do?

10 Timetable and Activity Section 2 2 Section

11 STRATEGIC BUDGETING TIMETABLE Implementation Phase begins Fall Reaffirming Late Fall WASC on site review Spring Reaffirming Early Spring Reaffirming Early Spring 2020 End Current SP June Reaffirming Early Spring Reaffirming Early Spring Reaffirming Early Spring Reaffirming Early Spring Early spring versus late fall re-affirmation of upcoming budget year? 2025 CSU Graduation 2025 June 2025 Tentative 2-year budget proposals (17-18 and 18-19) May 2017 Aggressive 11 Timetable Projecting Late Spring 2018 Projecting Late Spring 2019 Projecting Late Spring 2020 Projecting Late Spring 2021 Projecting Late Spring 2022 Projecting Late Spring 2023 Projecting Late Spring 2024

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13 Integrated Assessment, Planning and Budget 12-Month Timeline Assessment July-Sept Planning Oct-December Prioritize & Decide January-March Note: This timeline assumes a fully functioning, integrated cycle. Finalize and Communicate April-June Review the work of the previous year. What did we learn? What should we do? Based on the review of the assessment, what improvements/ plan do we wish to implement? Based on the SP implementation, campus priorities and requirements, what should happen now, versus later? Finalize and communicate the Plan for the following two years- reaffirming the first and out planning the second. Dept./ Program MBU VP JULY AUG SEPT OCT NOV DEC JAN FEB MAR APR MAY JUN Conduct assessment Develop/ Revise Plans Analyze assessments Requests Draft Plans Allocate/ Deny or Move forward requests Analyze Plans/ Allocate/ Deny or Move forward requests End Dec 10 th or about Mid-year review Communicate final request status to units Collect assessment data Cabinet Review prior year performance Reaffirm priorities for next year Retreat/ AY begins Sept 1 Campus communications Review last year s results and where we ended up budget early concerns to be watching Updates on enrollment & revenue projections, outcomes assessment and leading indicators. Analyze assessments/ Review requests Budget deliberations Budget review based on strategic budgeting principles Priorities for next two years released Review budget principles for following year Close AY activity Review prior year performance IE Review previous year s assessments Review Plans Assess SP progress Report of SP progress and review of plans and assessments Outcomes assessment support UBO 13 URPC Retreat/ AY begins Enrollment & Revenue Projections current and following AY-revise projections as necessary + impact of change Review last year s results and where we ended up budget early concerns to be watching Updates on enrollment & revenue projections, outcomes assessment and leading indicators Supports work of URPC Budget review based on strategic budgeting principles Finalized Budget submitted to President Review budget principles for following year Close AY activity

14 Implementation Timeline Academic Year Phase 1 Cabinet Approves Conceptual Model URPC is Consulted on the Conceptual Model Campus Communications Implementation Team with Stakeholders Plans Implementation Implementation Team Updates the Cabinet, URPC, and Campus on Progress Implementation Development and Testing Draft Two-Year Budget (time, attention, money) President Communicates the Budget to Campus Implementation Team Wraps-up and Debriefs on Implementation to Date 14 july aug sept oct nov dec jan feb mar apr may june

15 Process Flow Section 3 3 Section 1 Section

16 Tied to outcomes and plans- at dept, MBU, Div, and Univ levels. Categories from Strat Budget Document FIRMS/NACUBO codes I need time, attention or money - Dept Resources need to be categorized for priority within a strategic budgeting framework... Are there alternative approaches? Why? Continuous Improvement Loop* Assessment should drive and substantiate need. (evidence based) Purpose? Compliance/ Regulation/ Safety Innovation/ New ideas Operations Sustain/ Replacement What other options? Alternative Function? Alternative Process? Alternative Resource? Student Learning Outcomes Program or Unit Requests could consider multiple scenarios. Assessment Action Planning? Sunset Planning? Outcomes Objectives Tasks Based on assessment what do we stop? Based on assessment what do we change/enhance/e xpand? Function? Strategic Assets? Instruction Academic Support Student Services Research Institutional Support Public Service Operations and Maintenance Facilities Personnel Equipment Materials Students Collections Programs Brand How is this connected to the campus mission/ function? Campus Impact? High- Related to core functions Medium- Indirectly related to core functions Low- No connection to core functions Milestones? Short Term- 1 to 3 yrs Long Term- 4 to 6 yrs What improvements do we expect based on the change? Resources need to be contextualized within a larger continuous improvement assessment framework- evidence of why and how the resource is needed; 16 how it fits into the larger strategic plan, and how it supports continuous improvement. When? Investment Length? Current Next Fiscal Year Two years + One Year Two to Three Years Ongoing Review by MBU This flow chart illustrates a high level representation of the process at the dept. level. Each level up in the decision process should consider these items.

17 Tied to outcomes and plans- at dept, MBU, Div, and Univ levels. Someone wants time, attention or money - Decision maker Assessing the assessment Closing the Loop* Request needs to assessed through a clear, simple and transparent mechanism. Where should we apply the time, attention or money? Why? Does the assessment: 1. Illustrate evidence of need? 2. Illustrate changes recommended? 3. Provide milestones or expected results? Should we fund this activity through time, attention or money? Review Assessment Sunset Planning? Purpose Function Strategic Asset Class Fund? Action Planning? Based on assessment what do they intend to stop? Based on what they learned, what s the plan? Outcomes Objectives Tasks Investment Length Campus Impact SP Alignment When needed? Milestones Costs Internally? Document and Budget Request resources Review by next level Milestones? Short Term- 1 to 3 yrs Long Term- 4 to 6 yrs What improvements do we expect based on the change? Resources need to be contetualized within a larger continuous improvement 17 assessment framework- evidence of why and how the resource is needed; how it fits into the larger strategic plan, and how it supports continuous improvement. How does the evaluation occur? What are the mechanisms? What are the criteria? This flow chart illustrates a high level representation of the process of how a decision maker would 1) assess requests and 2) move them forward for consideration.

18 Assessment Section 4 4 Section 1 Section 2 Section

19 Four Perspectives To achieve our mission Stakeholder What do our students expect? Internal Which processes must we excel? Fiduciary What do the taxpayers of CA expect? Learning & Growth How must we organize, learn and improve? 19

20 20 EXAMPLE: Four Perspectives

21 At it s most basic, a rubric is a scoring tool that lays out the specific expectations for an assignment. Rubrics divide an assignment into its component parts and provide a detailed description of what constitutes acceptable or unacceptable levels of performance for each of those parts. (Stevens & Levi, 2005, p.3) 1 (No Alignment) 2 (Partial Alignment) 3 (Full Alignment) 4 (Integrated Alignment) Purpose Function Asset Class Campus Impact SP Blue Print 21 Each of factors in the rubric need to be operationally defined and clearly articulated.

22 PRINCIPLES, ASSUMPTIONS, CHALLENGES Section 5 5 Section 1 Section 2 Section 3 Section

23 A SMOOTH SEA NEVER MADE A SKILLFUL SAILOR. English proverb 23

24 Guiding Principles and Assumptions Below the surface challenges Focus on transformation vs addition Data informs Decisions-transparency vs advocacy Replace justification w culture of evidence Assessment & Planning are engrained in campus culture- part of everyday work Appropriate body makes decisions- not individuals nor complete consensus Communicate simplystandardized & transparent Priorities are focused through the SP Progress toward the SP must be measured 24

25 Considerations Implementation should address Existing processes such as Enrollment Planning, ITS project prioritization and Facilities Management project prioritization should be folded into this design. Process needs should build on existing structures: PREP. Chairs will rightly be vocal about workload. Building the Plane while Flying It Syndrome What assessment is the right assessment? Project Fatigue- Workgroup came up with design. Implementation is much more detailed and needs the right players to develop. 25

26 SETTING GOALS IS THE FIRST STEP IN TURNING THE INVISIBLE INTO THE VISIBLE. Tony Robbins, US author 26